Continuing Legal Education
Approval is pending for up to 6 New York State CLE credits for attendance at the entire event, and 2 New York State CLE credits for attendance during the afternoon panels. It is appropriate for newly admitted attorneys as well as experienced attorneys.
Out-of-state CLE: NYU School of Law is an accredited provider of CLE in New York State. If you are seeking CLE credit for a different state, we recommend you consult with your state’s CLE Board to ascertain regulations on reciprocity
There will be no fee attendant to this event.
Copyright Clearance
We are in the process of obtaining all necessary copyright clearances, if any.
CLE Materials
Lecture: “Implications of Empirical Studies of Human Behavior for Corporate Enforcement Policies,” Prof. Jennifer Arlen, NYU School of Law (20 Minutes)
Arlen, Jennifer and Lewis A. Kornhauser, “Battle for Our Souls: A Psychological Justification for Corporate and Individual Liability for Organizational Misconduct,” University of Illinois Law Review (Forthcoming).
Panel 1: Federal Criminal Enforcement Policy (1 Hour)
Andres, Greg D., et al., “Deputy Attorney General Lisa Monaco announces new guidance on DOJ corporate enforcement”, Davis Polk Insights (September 19, 2022).
Arlen, Jennifer, “Countering Capture: A Political Theory of Corporate Criminal Liability”, The Journal of Corporation Law Vol. 47:4 [861-886] (September 2022).
Arlen, Jennifer, “Corporate Criminal Enforcement as a Defense to Companies’ Political Influence,” Compliance and Enforcement Blog (March 29, 2022).
Arlen, Jennifer and Samuel W. Buell, “The Law of Corporate Investigations and the Global Expansion of Corporate Criminal Enforcement,“ University of Southern California Law Review Vol. 93 (2020).
Arlen, Jennifer, “The potential promise and perils of introducing deferred prosecution agreements outside the U.S.”, Negotiated Settlements in Bribery Cases [156-199] (April 8 2020).
Arlen, Jennifer, “Criminal, Civil and Administrative Enforcement Against Individuals and Companies for Organizational Misconduct,” American Law Institute’s Principle of the Law of Compliance and Enforcement (May 2021).
Commodity Futures Trading Commission, Division of Enforcement, Enforcement Manual (May 2021).
Commodity Futures Trading Commission, Memorandum: Guidance on Evaluating Compliance Programs in Connection with Enforcement Matters (September 10, 2020).
Monaco, Lisa O., “Address at ABA’s 36th Annual National Institute on White Collar Crime,” (October 28, 2021).
Polite, Kenneth A., “Remarks at the University of Texas Law School,” (September 16, 2022).
Turtletaub, Adam, “Dan Kahn on the Recent Comments by Deputy Attorney General Lisa Monaco [Podcast],” The Compliance and Ethics Blog (October 13th, 2022).
United States Department of Justice, “Memorandum: Further Revisions to Corporate Criminal Enforcement Policies Following Discussions with Corporate Crime Advisory Group,” (September 15, 2022).
Panel 2: SEC/CFTC Enforcement Policy (1 hour)
Arlen, Jennifer, “The potential promise and perils of introducing deferred prosecution agreements outside the U.S.”, Negotiated Settlements in Bribery Cases [156-199] (April 8 2020).
Arlen, Jennifer, “Countering Capture: A Political Theory of Corporate Criminal Liability”, The Journal of Corporation Law Vol. 47:4 [861-886] (September 2022).
Andres, Greg D., et al., “SEC and CFTC Enforcement Update” Davis Polk Insights (Summer 2022).
Commodity Futures Trading Commision, Enforcement Manual (May 2021).
Commodity Futures Trading Commission, Memorandum: Recognizing Cooperation, Self-Reporting, and Remediation in Commission Enforcement Orders (October 29, 2020).
Commodity Futures Trading Commission, Memorandum: Guidance on Evaluating Compliance Programs in Connection with Enforcement Matters (September 10, 2020).
Savarese, John F., et al., “SEC Releases New Guidance on Cybersecurity Dislcosures and Controls,” Compliance and Enforcement Blog (August 23, 2018).
Securities and Exchange Commission, “Enforcement Manual,” (November 28, 2017).
Securities and Exchange Commission, Remarks at University of Texas Law School, “The SEC’s Cooperation Program: Reflections on Five Years of Experience,” (May 13, 2015).
Securities and Exchange Commission, “Policy Statement Concerning Cooperation by Individuals in its Investigations and Related Enforcement Actions,” 75 FR 3122 (January 19, 2010).
Securities and Exchange Commission, “Report of Investigation Pursuant to Section 21(a) of the Securities and Exchange Act of 1934 and Commission Statement on the Relationship of Cooperation to Agency and Enforcement Decisions,” (October 23, 2001).
Keynote: Damian Williams, US Attorney, Southern District of New York (.75 hour)
Andres, Greg D., et al., “Deputy Attorney General Lisa Monaco announces new guidance on DOJ corporate enforcement”, Davis Polk Insights (September 19, 2022).
Arlen, Jennifer, “Countering Capture: A Political Theory of Corporate Criminal Liability”, The Journal of Corporation Law Vol. 47:4 [861-886] (September 2022).
Arlen, Jennifer, “Corporate Criminal Enforcement as a Defense to Companies’ Political Influence,” Compliance and Enforcement Blog (March 29, 2022).
Arlen, Jennifer and Samuel W. Buell, “The Law of Corporate Investigations and the Global Expansion of Corporate Criminal Enforcement,“ University of Southern California Law Review Vol. 93 (2020).
Arlen, Jennifer, “The potential promise and perils of introducing deferred prosecution agreements outside the U.S.”, Negotiated Settlements in Bribery Cases [156-199] (April 8 2020).
Arlen, Jennifer, “Criminal, Civil and Administrative Enforcement Against Individuals and Companies for Organizational Misconduct,” American Law Institute’s Principle of the Law of Compliance and Enforcement (May 2021).
Commodity Futures Trading Commission, Division of Enforcement, Enforcement Manual (May 2021).
Commodity Futures Trading Commission, Memorandum: Guidance on Evaluating Compliance Programs in Connection with Enforcement Matters (September 10, 2020).
Monaco, Lisa O., “Address at ABA’s 36th Annual National Institute on White Collar Crime,” (October 28, 2021).
Polite, Kenneth A., “Remarks at the University of Texas Law School,” (September 16, 2022).
Turtletaub, Adam, “Dan Kahn on the Recent Comments by Deputy Attorney General Lisa Monaco [Podcast],” The Compliance and Ethics Blog (October 13th, 2022).
United States Department of Justice, “Memorandum: Further Revisions to Corporate Criminal Enforcement Policies Following Discussions with Corporate Crime Advisory Group,” (September 15, 2022).
Panel 3: Cybersecurity & Disclosure (1 Hour)
Caroll, James R., et al., “Privacy and Cybersecurity Update,” Skadden Insights (October 2022).
Gesser, Avi, et al., “SEC Cybersecurity Update: Chair Gensler Offers Insight into Upcoming Regulation,” Compliance and Enforcement Blog (February 3, 2022).
Securities and Exchange Commission, “Cybersecurity Risk Management Fact Sheet,” (February 9 2022).
Securities and Exchange Commission, “SEC Proposes Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisors and Funds” (February 9, 2020).
Securities and Exchange Commission, “Cybersecurity Risk Management for Investment Advisors, Registered Investment Companies, and Business Development Companies,” 87 FR 13524 [13524-13595] (March 9, 2022).
Securities and Exchange Commission, Public Company Cybersecurity; Propose Rules Fact Sheet (March 2022).
Securities and Exchange Commission, “Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure,” 87 FR 16590, [16590-16624] (March 23, 2022).
Securities and Exchange Commission, “Commission Statement and Guidance on Public Company Cybersecurity Disclosures,” 83 FR 81661(February 21, 2018).
Panel 4: Cybersecurity & Infrastructure (1 Hour)
Cybersecurity and Infrastructure Security Agency, “Request for Information,” 87 FR 55833 (September 12, 2022).
Cybersecurity and Infrastructure Security Agency, Cyber Incident Reporting for Critical Infrastructure Act of 2022 Fact Sheet (CIRCIA) (July 21, 2022).
Cybersecurity and Infrastructure Security Agency, Cyber Incident Reporting for Critical Infrastructure Act of 2022 (CIRCIA) (May 8, 2022).
Department of Homeland Security, “Cyber Incident Report for Critical Infrastructure Act of 2022,” 87 FR 55830 [55830-55833] (September 12, 2022).
Gesser, Avi, Paul D. Rubin and Anna R. Gressel, “Model Destruction – The FTC’s Powerful New AI and Privacy Enforcement Tool,” Compliance and Enforcement Blog (March 30 2022).
Goldin, Nicholas S., Lesser, Lori E., Jolson, Melanie D., and Hinckson, Shanice D., “Recently Enacted Federal Cybersecurity Disclosure Statue Will Significantly Expand Data Breach and Ransomware Reporting Obligations”, Compliance and Enforcement Blog (April 26, 2022).
Official Compilation of the Codes, Rules and Regulations of New York State, “Order Amending Cybersecurity Requirements” (July 2023).
